| 09-01924 | 05/04/2010 | Claimant(s): Paul Carey, Victoria Carey
Claimant Lawyers(s): Andrew O. Whiteman
Respondent(s): Genworth Financial Securities Corp.
Respondent Lawyers(s): Matthew H. Hall
Arbitrator(s): Zeb E. Barnhardt, Thomas C. Looney, Karen A. West
Hearing Site: Raleigh, NC
|  | $363,010 |
| 09-01591 | 04/07/2010 | Claimant(s): James Wortman
Claimant Lawyers(s): Andrew O. Whiteman
Respondent(s): Sovereign Advisers, Uvest Financial Services Group.
Respondent Lawyers(s): Lisa L. Tharpe, Sara B. Davis
Arbitrator(s): Zeb E. Barnhardt, William H. McCullough, Robert O. Belo
Hearing Site: Raleigh, NC
| | $0 |
| 09-01425 | 03/23/2010 | Claimant(s): Earl Smith
Claimant Lawyers(s): John C. Randall
Respondent(s): Brian Fehr, Donna Givner, TD Ameritrade.
Respondent Lawyers(s): Amanda G. Ray
Arbitrator(s): Leonard E. Benade, Robert P. Porter, David P. McDuffee
Hearing Site: Raleigh, NC
| | $0 |
| 09-01382 | 02/23/2010 | Claimant(s): Jane Chang, Kwen-Jen Chang
Claimant Lawyers(s): Andrew O Whiteman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Michael P. O'Mullan
Arbitrator(s): Zeb E. Barnhardt, Lynne T. Albert, David H. Grubbs
Hearing Site: Raleigh, NC
| | $108,750 |
| 09-03826 | 02/12/2010 | Claimant(s): Dennis Frye
Claimant Lawyers(s): Dennis A. Frye
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Christine M. Hanna
Arbitrator(s): Leona Beane
Hearing Site: Raleigh, NC
| | $5,425 |
| 08-02486 | 02/03/2010 | Claimant(s): Clifford D. Spikes and Nancy P. Spikes
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): CIBC World Markets Corp.
Respondent Lawyers(s): Elizabeth Rose Aylett
Arbitrator(s): David P. McDuffee, Patricia Ann Tracey, Frank H. Livingston
Hearing Site: Raleigh, NC
| | $300 |
| 09-01804 | 08/20/2009 | Claimant(s): A.G. Edwards & Sons.
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Hobert Sanderson
Respondent Lawyers(s): Hobert K. Sanderson
Arbitrator(s): Robert S. Zuckerman
Hearing Site: Raleigh, NC
| | $0 |
| 09-00122 | 05/26/2009 | Claimant(s): Ganesh Khandpekar
Claimant Lawyers(s): Ganesh Khandpekar
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Lynne T. Albert
Hearing Site: Raleigh, NC
| | $0 |
| 08-01254 | 02/26/2009 | Claimant(s): Andrew Hoh
Claimant Lawyers(s): Christopher J. Gray
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Niels P. Murphy
Arbitrator(s): Leon Henderson, Donald Cornelius Morrison, Donald L. Horowitz
Hearing Site: Raleigh, NC
| | $92,263 |
| 07-03087 | 10/23/2008 | Claimant(s): Ruimin Chen and Li Pan
Claimant Lawyers(s): Li Pan
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): John J. Nielands
Arbitrator(s): C. Marcus Harris, Daniel W. Desmond, Theresa Joan Rosenberg
Hearing Site: Raleigh, NC
| | $0 |
